Updated Friday, August 1, 2014 as of 7:52 AM ET
Practice - Regulatory/Compliance
Death of A Client
Wednesday, February 1, 2012

I'm a registered investment adviser. In completing the Form ADV Part I there is a question that asks if I "receive research or other products or services other than execution from a broker-dealer or a third party ('soft dollar benefits') in connection with client securities transactions." While I do get some research from the brokerage firm I deal with just for being on their platform, I don't think that would qualify as "soft dollars". Can you clarify?

— D.R., Georgia

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